Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources

FINRA Unscripted

English - December 13, 2022 11:30 - 21 minutes - 19.7 MB - ★★★★★ - 45 ratings
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The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, Kayte Toczylowski, FINRA’s vice president of Member Relations and Education, joins us to share the top five FINRA tools and resources, or gifts, if you will, that you will want to make sure you are aware of and be sure to share with all of your colleagues.

Resources mentioned on this episode:

FINRA Compliance Tools

FINRA Notices

FINRA Targeted Exam Letters (aka Sweeps)

FINRA Conferences & Events

FBI Cyber Threat Briefing Series

Machine-Readable Rulebook Initiative

FINRA Advisory Committees

FINRA Committee Indication of Interest Form

Have questions? Email: [email protected]